{"id":2932,"date":"2015-09-11T00:00:00","date_gmt":"2015-09-11T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/scottsdale-capital-advisors-awaiting-finra-disciplinary-action-after-alleged-scheme\/"},"modified":"2018-10-08T12:41:25","modified_gmt":"2018-10-08T16:41:25","slug":"scottsdale-capital-advisors-awaiting-finra-disciplinary-action-after-alleged-scheme","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/scottsdale-capital-advisors-awaiting-finra-disciplinary-action-after-alleged-scheme\/","title":{"rendered":"Scottsdale Capital Advisors Awaiting FINRA Disciplinary Action After Alleged Scheme"},"content":{"rendered":"

\"Scottsdale<\/a><\/h2>\n

The company\u2019s Chief Compliance Officer and President may be implicated in the case<\/h2>\n<\/p>\n

Scottsdale Capital Advisors, an Arizona brokerage firm established in 2001, is pending disciplinary action by FINRA after allegations of inappropriate business conduct by a client, the firm\u2019s compliance officer and the then-president of the firm.<\/p>\n

In May, FINRA filed a complaint against the firm as well as individuals John Hurry, Timothy DiBlasi and Mike Cruz in regards to allegations that these individuals and the firm violated FINRA rules by being involved in the sale of more than 74 million unregistered shares of three separate stocks, resulting in proceeds of more than $1.7 million for the customer and $170,000 in commissions for the firm, according to FINRA<\/a>.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The company\u2019s Chief Compliance Officer and President may be implicated in the case Scottsdale Capital Advisors, an Arizona brokerage firm established in 2001, is pending disciplinary action by FINRA after allegations of inappropriate business conduct by a client, the firm\u2019s compliance officer and the then-president of the firm. In May, FINRA filed a complaint against […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[400],"class_list":["post-2932","post","type-post","status-publish","format-standard","hentry","category-all-releases","tag-finra-disciplinary-action"],"yoast_head":"\nScottsdale Capital Advisors Awaiting FINRA Disciplinary Action After Alleged Scheme — Securities Arbitration Lawyers Blog — September 11, 2015<\/title>\n<meta name=\"description\" content=\"Check out the full article on Scottsdale Capital Advisors Awaiting FINRA Disciplinary Action After Alleged Scheme on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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